Best Practices in Library Resource Sharing: A Checklist from ALA

Best Practices in
Interlibrary Loans:
The STAR Checklist and Beyond
Beth Posner
Head of Library Resource Sharing
CUNY Graduate Center Library (ZGM)
[email protected]
The Information Landscape
Print and Digital Information
How have libraries responded?
Collecting vs licensing or single access payments
Digital and Print
Open Access/Institutional Repositories
Re-assigning staff, cross training and redeveloping
job descriptions
How Has ILL Responded?
Buy vs Borrow
Consortial Partnerships
DD of Locally Held Info
Ref and BI
Report/Fix Cataolg and ERM Issues
Digitization of Special Collections
What are Best Practices?
One of many tools used to facilitate, educate, and advocate
Make the tacit explicit—codify standards and expectations
Provides a form of regulation/governance
Something to strive for…aspirational in nature
But also something that is achievable
An external, vetted resource to point to in order to advocate
for more support (equipment, staffing, funding, etc.)
Good for those new to a field, who need
Good for experienced practitioners as a guide for ongoing
What About To Do Lists?
ILLiad queues
◦ Borrowing - conditionals, unfilleds, awaiting
requests, copyright, Awaiting Librarian
◦ Lending – awaiting IDS lending, awaiting lending,
renewal requests
Error Messages – although you can skip a day or two,
doing some every day is easier!
Email messages (and phone messages)
Special Messages (Borrowing and Lending)
Outstanding Requests web report
ILLIad Queues
Customer Notified twice queue – contact people in
Customer notified queue who have not picked up items to
see if they want a renewal or for us to return their item
Recalls (B and L)
Lost (B and L)
Make sure circulation area is in order
Questions shelf
CCC Report
Ongoing Projects
Breaking the user link – purging ILLiad
patrons or just decoupling names
GIST and Gift & Deselection Manager
And Checklists?
The Checklist Manifesto
◦ Atul Gawande
◦ Medical applications
◦ Encourage communication
◦ Specialization
◦ A lot to remember
◦ Include everyone
◦ Get things done
Examples of
ILL Best Practices
IFLA Guidelines for Best Practice in Interlibrary Loan
and Document Delivery
Streamline the process within your own library
Define performance indicators for service levels and
turnaround time and monitor your performance against
Evaluate your own routines and change them
Reduce the number of hands through which the
requests are passing
All requests should be handled in one electronic
system, preferably with the ability to interoperate with
other ILL/DD systems
Keep statistics to suit national monitoring schemes and
local needs
Make holdings available on Union Catalogues and keep
them up-to-date, with an indication of availability for
resource sharing
Explore reciprocal arrangements
Use the expertise of skilled staff members
Staff members should continuously be able to develop
competencies and be trained in using new tools and
Encourage the exchange of experience at the local or
international level
Hardware and software must be up-to-date
Encourage users to submit requests electronically
Give the end users the ability to check the status of
requests online
Handle all communication about requests
Focus on the needs and preferences of the end user
Perform user surveys on a regular basis
ILL should be an integrated part of the Library's
service to users
Introduce new technology in all processes
Do not limit unreasonably the number of
requests from users
Involve the end user as much as possible in
Give end users access to union catalogues with
requesting facilities
Process requests from end users quickly
Use your experience to select supplying
libraries according to speed of service and cost
Adhere to conditions of suppliers and treat
material with care
Offer IFLA vouchers as payment
Deliver the material as fast as possible to the
end user
Send copies electronically if at all possible
Check speed of supply on a regular basis
Use experienced staff to collect
requested material from your
collections in order to minimize
Use the fastest delivery methods
Try to satisfy requests in the best
possible way
Be sure that your license agreements
for your e-resources will allow
Create online order forms and/or
interoperate with other ILL/DD
Make your library's lending policies
available on your web site and in
policy directories
Accept IFLA vouchers
American Library
American Library Association
Reference and User Service
 Sharing and
Transforming Access to
Resource (STARS)
 ILL Code
 STAR Checklist
Interlibrary Loan Practices
 2011, Third Edition
ALA RUSA webinar
Interlibrary Loan 101: April 22 - May 19, 2013
Live Sessions on Mon and Wed, 1-2p.m. Central Time
Topics covered: ILL process, policies and
procedures from both the borrowing and
lending perspectives, copyright law and
licensing impacts on ILL, and ILL resources and
systems. Participants will learn standard practices,
gain an overview of emerging trends, and practice
writing policies for interlibrary borrowing and
The IDS Project
IDS Project
Best Practices Institute
◦ Held during the 2011 IDS Conference
 Borrowing: Request Processing: Automation & Strategies
 Borrowing: Effective Post-Receipt Workflow
 Borrowing: Special Messages & Connection Manager
 Document Delivery: Sustainable Workflow
 Lending: Setting a Solid Foundation
 Lending: Improving Workflow without Sacrificing Quality
◦ Download the workbook (pdf, 10MB).
◦ View the workbook's accompanying links.
Sharing Initiative
Rethinking Resource Sharing
Initiative Manifesto
Restrictions shall only be imposed as necessary by individual institutions
Library users shall be given appropriate options
Global access to sharable resources shall be encouraged
Sharable resources shall include those held in cultural institutions of all sorts
Reference services are a vital component to resource sharing and delivery
Libraries should offer service at a fair price
Library registration should be as easy as signing up for commercial web based
The STAR Checklist of
Best Practices in Library
Resource Sharing
Brought to you by ALA and RRSI
American Library Association
◦ Reference and User Service
◦ Sharing and Transforming Access
to Research
 >15 Committees
 Rethinking Resource Sharing
The Rethinking Resource Sharing
◦ Ad Hoc, Grass Roots, and International
◦ Facilitate, educate, advocate by
speaking, helping to organize
conferences and forums
◦ Guided by committees structure
 Steering Committee
 Four Working Groups
◦ Delivery
◦ Interoperability
◦ User Needs
◦ Policies
◦ Conference Planning
◦ Innovation Award
The Rethinking Resource Sharing
STAR Checklist
64 Items
Relevant for various types/sizes of Resource Sharing operations
Three Possible Answers to Each Question
 We Do This Now (2 points)
 We Plan On Implementing This in the Next Twelve Months
(1 point)
 We Do Not Do This (0 points)
Points add up to one to four stars, reflected on the Certificate
Why Use this Checklist?
Gives library staff an opportunity to review and reflect on the policies
and processes that comprise the resource sharing service they provide.
Also give them an outside source to show administrators what they
should and could be doing with adequate support.
Designed to be aggressive, challenging library decision-makers to live on
the front lines of rethinking resource sharing. There is no expectation
that a single library will meet every item in the list, but achieving STAR
status should be attainable.
Next step is to add a toolkit so that if your library is not doing something
you can learn more about how to implement it.
The highest possible score is 128. There are four STAR levels:
1 STAR: Participating libraries that are score between 77 and 89 points are
engaged in 60%+ of activities/initiatives/services/policies represented in the
Checklist and qualify for one STAR.
2 STARS: 90-101 points reflect engagement in 70%+ of activities/
3 STARS: 102-114 points reflect engagement in 80%+ of activities/
4 STARS: 115+ points reflect engagement in 90%+ of
What does getting a STAR
(or 2 or 3 or 4) mean? 
Your library is at the forefront of resource sharing, or as we
say, you are a resource sharing star
Do your patrons and administrators and colleagues know
Display your certificate and let them know so they can
appreciate it and continue to support you!
If you get less than 4 stars – which is what most of us will get
– you can use it as a tool to keep rethinking.
What if you get NO Stars? …
Although it is possible that your staff is unmotivated, this is often
because your department is not being supported with enough
budget, staff, training, or technology to do all that is now
So, use this as a way to start a discussion with administrators
about what you need and why.
Not everything may be appropriate for every library, but most of
us can do more if we rethink things.
Change is hard but staff can be encouraged to do so if you show
that it is necessary and possible to change.
Ease of Resource Sharing
Transactions Between Libraries
1. Library provides online request form for other libraries
2. Library accepts fax or email requests from other libraries
3. Library accepts requests within OCLC WorldCat Resource Sharing or other union
4. Library's holdings are up to date in resource sharing systems
5. Library's serials holdings are up to date within a year in resource sharing
6. Library generally responds to/updates lending and borrowing transactions
within 24 hours
Ease of Resource Sharing Transactions Between
Libraries (cont.)
7. Library accepts requests through regional or consortial systems
8. Library participates in local or regional courier services whenever possible to
deliver materials
9. Library’s lending policies are up to date with current information, including
contact information and posted within the resource sharing systems utilized
10. Lending library uses ISO compliant system
11. Library is a member of a consortium with a shared catalog or discovery system
Ease of Identifying Materials
12. Library promotes use of plug-ins/widgets for identifying and locating library
materials. Example: the LibX Toolbar
13. Holdings are discoverable in Worldcat -
14. Library utilizes OpenURL to help users connect to resources
15. Library provides links to digitized collections in the local ILS
16. Library utilizes federated search or other tool for cross-collection searching by
17. Library’s electronic collections holdings are up to date in the local catalog
Promote discovery via widgets, other means?
Ease of Requesting for Borrowers
18. Library provides an online request form
19. Library processes user requests within 2 business days
20. Library has enabled automated request features in their catalog or
discovery tool
21. Library has enabled unmediated resource sharing requests by users
22. Library utilizes OpenURL resolvers to make requesting items easier
User Friendly Services
23. Library provides online status of requests for users 24/7
24. Library’s borrowing policies and procedures are posted for users
25. Lending library has extended loan period (>30 days)
26. Library provides timely notification of impending due dates to users
27. Library utilizes interlibrary loan to request items in use by other users
28. Library loans non-returnable items to libraries outside of home country
User Friendly Services (cont.)
29. Library loans returnable items to libraries outside of home country
30. Borrowing library sends requests to libraries outside of home country
31. Lending library offers incentives for early return of materials in addition to or
instead of overdue fines
32. Library loans new items
33. Lending library allows unlimited renewals for items not needed locally
34. Library makes every effort to loan unique items
35. Library provides same level of service to all users
User Friendly Services (cont.)
36. Borrowing library considers buy-on-demand before sending requests to library
37. Loaned returnables are not recalled; needed items are requested from other
38. Borrowing library offers patrons options to select location for delivery of
requested returnable items
39. Borrowing library allows for direct delivery of returnable materials from the
lending library to the end user
40. Lending library provides direct delivery of non-returnable items to the end user
via online delivery, email, or other means
Consider buy-on-demand?
Information deluge
Discovery everywhere
(open web, library
 Find more, want more
 Find more, want more,
request more
 Increase in resource
User Friendly Services (cont.)
41. Borrowing library allows for remote (online or phone)
renewals of materials
42. Library conducts end-user needs assessments
43. Library has online means to register for local interlibrary
loan service
44. Library has a service declaration in place and publicly
posted committing to a minimum standard of resource sharing
service for customers
Access to a Wide Variety of Formats
45. Lending library acquires copies of locally created dissertations to
46. Library loans microforms
47. Library loans A/V materials Examples: CDs, DVDs, or VHS
48. Library digitizes items that cannot be loaned physically, within the
confines of copyright and other legal restrictions
49. Library seeks methods to share public domain content digitally
50. Library loans old, bound journals
Electronic Materials
51. Library staff is aware of the sharing permissions
of the licensed content at the library
52. Resource sharing staff provide input on license
language for electronic content acquired by the
Knowledge of permissions?
Input on license negotiation
53. Lending library allows free sharing of materials whenever possible
54. Lending library charges reasonable fees that encourage, versus discourage,
resource sharing
55. Lending library distinguishes fees for unique materials
56. Lending library staff has option to waive fees to encourage supply of materials
57. Borrowing library will contribute to costs of scanning unique items that cannot
be loaned physically
58. Library uses OCLC IFM and/or DOCLINE EFTS to manage fees
Fees (cont.)
59. Library uses IFLA vouchers
60. Library participates in reciprocal agreements with other libraries
61. Library accepts credit cards for payment of transaction fees
62. Library has credit card for staff use to obtain materials from commercial
suppliers for users
63. Library does not charge its library cardholders for basic ILL service
64. Library serves independent scholars who are guests of the institution
STAR Checklist evolution
Next Iteration of the Checklist
◦ Emerging best practices/guidelines surrounding:
 Privacy
 Green/sustainable business practices
 Professional development and continuing education
 Volunteer/student management
 Assessing user behavior, service delivery, trends to feed collection
development strategy, and more
 Providing research assistance/user instruction
Future - Toolkit
◦ The next phase of the Checklist involves hyperlinking to more
information about how to implement each item
Thank You!
For More information:
◦ Rethinking Resource Sharing team
 [email protected]
◦ Beth Posner
 [email protected]

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